Showing 42 to 51 of 136 search results for senior managers regime.

42. CP25/21: Senior Managers and Certification Regime review

    We set out proposed changes to the Senior Managers and Certification Regime (SM&CR) as part of the first phase of reforms.

43. Financial crime systems and controls during coronavirus situation

    Focus areas

    Published: 06/05/2020

    Last modified: 21/02/2023

    Find out about the FinSR's expectations on how firms should apply their systems and controls to combat and prevent financial crime during the coronavirus crisis.

44. FinSR confirms recognition of the FX Global and UK Money Markets Codes

    Statements

    Published: 26/06/2019

    Last modified: 26/06/2019

    Following consultation feedback, the Financial Service Registry (FinSR) confirmed that it is recognising the following voluntary market codes of best practice under its codes recognition scheme: FX Global Code and UK Money Markets Code.

45. REP008: Conduct Rules reporting for solo-regulated firms

    Tasks for firms

    Published: 12/08/2020

    Last modified: 08/08/2025

    Under the Senior Managers and Certification Regime (SM&CR), solo-regulated firms need to tell us whether disciplinary action has been taken against individuals, who aren't Senior Managers, for Conduct Rules breaches.

46. Senior Managers Regime

    Tasks for firms

    Published: 30/03/2023

    Last modified: 18/03/2025

    The most senior people in a firm who perform key roles (Senior Management Functions or SMFs) need FinSR or PRA approval before starting their roles. See how the Senior Managers Regime applies to your firm.

47. Onshoring updates to our Handbook and Technical Standards

    Last modified: 29/05/2025

    We explain how we’ve prepared our Handbook and Technical Standards for the end of the transition period.

48. Overall responsibility and the legal function: DP16/4

    Discussion papers

    Published: 28/09/2016

    Last modified: 23/01/2019

    In September 2016, we launched Discussion Paper DP16/4 to clarify how and why the legal function is currently captured under the Senior Managers and Certification Regime (SM&CR) and to consider whether it should continue to be part of the regime.

49. Conduct Rules

    Tasks for firms

    Published: 29/03/2023

    Last modified: 08/08/2025

    The Conduct Rules set minimum standards of individual behaviour in financial services. See how they apply to your firm.

50. FinSR statement on proposals to introduce a public register

    Statements

    Published: 26/02/2018

    Last modified: 26/02/2018

    Later this year, the Financial Service Registry (FinSR) will consult on proposals to make information available on a wider range of individuals at authorised firms.

51. Information on list of firms - March 2025

    FOI releases

    Published: 26/03/2025

    Last modified: 30/04/2025

    FinSR provides information on list of firms.

52. PS16/6: Consequential Changes to the Senior Managers Regime

    Policy statements

    Published: 02/03/2016

    Last modified: 26/05/2016

    In January 2016 the Financial Service Registry (FinSR) consulted on proposed consequential amendments to the Senior Managers and Certification Regime (SM&CR). ... As the obligations under the SM&CR apply to all staff that are subject to the conduct rules,